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Todd David Gillespie

CRD# 2165494·Registered 1991 - 2008
Barred: Todd David Gillespie was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Todd David Gillespie was a registered financial advisor. Todd was a previously registered financial advisor and started their career in finance 1991 - 2008. Todd had worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

MERIDIAN UNITED CAPITAL, LLC·CRD# 122924
BD
Scottsdale, AZ
April 29, 2008 - September 9, 2008
CAPITAL ACCESS, LTD.·CRD# 24898
BD
Seattle, WA
February 4, 2005 - May 10, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Laguna Hills, CA
January 2, 2004 - September 1, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
August 11, 2003 - September 1, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
RIA
Newport Beach, CA
November 21, 2002 - July 29, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
Boston, MA
August 9, 2002 - July 29, 2003
PROTRADER SECURITIES L.P.·CRD# 35233
BD
Austin, TX
January 27, 1998 - May 22, 2000
SOUTHCOAST INVESTMENT GROUP, INC.·CRD# 43506
BD
Houston, TX
August 22, 1997 - April 1, 2002
JACKSON KOHLE & CO.·CRD# 17788
BD
San Clemente, CA
August 27, 1996 - August 29, 1997
ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272
BD
Lincoln, NE
January 31, 1996 - August 16, 1996
MARKETING ONE SECURITIES, INC.·CRD# 16611
BD
Portland, OR
February 2, 1993 - January 31, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
August 9, 1991 - December 18, 1992

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Current Firm

MU
MERIDIAN UNITED CAPITAL, LLC

MERIDIAN UNITED CAPITAL, LLC | RUSSELL KING FINANCIAL, LLC | RK FINANCIAL, LLC

CRD#: 122924 / SEC#: 8-65544
BD
Terminated by SEC on 12/15/2012

Contact Information

Established

Minnesota since 05/23/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
JOHNSON, REID STUARTPRESIDENT, CCO, AMLCO, LLC GOVERNOR1043574
KIERNAN, WILMA URIBEFINOP5522174

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2002About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1991About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1991About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 1997About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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